SEC Form 4 · accession 0001246360-17-000782

ROCKWELL AUTOMATION, INC · ROK

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Feb 14, 2017

Accepted (ET)

Feb 16, 2017 · 5:56 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001024478

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock	Feb 14, 2017	M	10,000	$0.00	A	330,415	D
Common Stock	Feb 14, 2017	S	10,000	$152.00	D	320,415	D
Common Stock	Feb 15, 2017	M	18,600	$46.16	A	339,015	D
Common Stock	Feb 15, 2017	M	20,000	$69.57	A	359,015	D
Common Stock^F2,F3	Feb 15, 2017	S	18,600	$152.1466	D	340,415	D
Common Stock^F1	holding	—	—		—	78	I	By Savings Plan

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee Stock Option (Right to Buy)	$46.16	Feb 14, 2017	M	10,000	D	Dec 9, 2010	Dec 9, 2019	Common Stock	10,000	69,471	D
Employee Stock Option (Right to Buy)	$46.16	Feb 15, 2017	M	18,600	D	Dec 9, 2010	Dec 9, 2019	Common Stock	18,600	50,871	D
Employee Stock Option (Right to Buy)	$69.57	Feb 15, 2017	M	20,000	D	Dec 7, 2011	Dec 7, 2020	Common Stock	20,000	113,900	D

F1Shares represented by Company stock fund units acquired under the Company Savings Plan based on information furnished by the Plan Administrator as of 12/31/2016.
F2Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $152.06 to $152.2008. The reporting person undertakes to provide to the Company, any shareowners of the Company and the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price.
F3Represents shares held by a revocable trust of which the reporting person and his spouse are trustees and beneficiaries.